Russell W. Tobler

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Russell W. Tobler was a registered financial professional .

Russell is a previously registered financial professional and started their career in finance in 2002. Russell had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 17, 2014 - June 28, 2017

KESTRA PRIVATE WEALTH SERVICES, LLC

RIA

CRD#: 155193

SALT LAKE CITY, UT

Past

November 7, 2014 - June 28, 2017

KESTRA INVESTMENT SERVICES, LLC

BD

CRD#: 42046

Salt Lake City, UT

Past

March 3, 2009 - November 17, 2014

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SALT LAKE CITY, UT

Past

March 3, 2009 - November 17, 2014

RBC CAPITAL MARKETS, LLC

BD

CRD#: 31194

SALT LAKE CITY, UT

Past

October 15, 2002 - March 16, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SALT LAKE CITY, UT

Past

October 7, 2002 - March 16, 2009

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

SALT LAKE CITY, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KP

KESTRA PRIVATE WEALTH SERVICES, LLC

CRD#: 155193 / SEC#: 801-71936

RIA

Registered Investment Advisory firm - (11/22/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 10/11/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 6/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 31

Date: 6/2/2005

Futures Managed Funds Examination

General Industry/Product Exam

RR

Series 7

Date: 9/5/2002

General Securities Representative Examination

Current Firm

KP

KESTRA PRIVATE WEALTH SERVICES, LLC

CRD#: 155193 / SEC#: 801-71936

RIA

Registered Investment Advisory firm - (11/22/2010 Approved)

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Contact information

Main Address

5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

198

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA PRIVATE WEALTH SERVICES, LLC ADVISORENTERPRISE WRAP FEE BROCHURE (10/21/2025)

KPWS - BROCHURE (10/21/2025)

Regulatory assets under management

Total Number of Accounts	27,816
AUM (Assets Under Management)	$ 10,210,576,595

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

KESTRA PRIVATE WEALTH SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/2002

Series 63

Date: 10/11/2002

SIE

Date: 6/28/2017

Series 31

Date: 6/2/2005

Series 7

Date: 9/5/2002

Current Firm

KESTRA PRIVATE WEALTH SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA PRIVATE WEALTH SERVICES, LLC

TRUST BUT VERIFY

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